Ontario Securities Commission Bulletin
Issue 42/23 - June 06, 2019
Ont. Sec. Bull. Issue 42/23
Table of Contents
Chapter 1 - Notices
Notices
• Multilateral CSA Staff Notice 91-306 Compliance Review Findings for Reporting Counterparties
• OSC Staff Notice 43-706 -- Pre-filing Review of Mining Technical Disclosure
• Notice of Ministerial Approval of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Notices of Hearing with Related Statements of Allegations
• First Global Data Ltd. et al. -- ss. 127, 127.1
Notices from the Office of the Secretary
• Mangrove Partners and TransAlta Corporation
• First Global Data Ltd. et al.
• Issam El-Bouji
• Alain Armand Theroux
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Citigroup Global Markets Inc.
• Fidelity Investments Canada ULC
• Claret Asset Management Corporation
• YTM Capital Asset Management Ltd. and YTM Capital Fixed Income Alternative Fund
• IDM Mining Ltd.
• Pembroke Private Wealth Management Ltd. and GBC Corporate Bond Fund (previously named "The Pembroke Corporate Bond Fund")
• HEXO Corp. and Newstrike Brands Ltd.
• SEB S.A.
• Next Edge Capital Corp. and Next Edge AHL Fund
Orders
• Josephine Mining Corp. -- s. 144
• Katanga Mining Limited -- s. 144(1)
• SEMAFO (Holding) Limited (formerly, Savary Gold Corp.) -- s. 1(6) of the OBCA
• Alain Armand Theroux -- ss. 127(1), 127(10)
• LeadFX Inc.
Rulings
• Wells Fargo Securities, LLC -- s. 38 of the CFA and s. 6.1 of Rule 91-502 Trades in Recognized Options
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions
• Mangrove Partners and TransAlta Corporation -- ss. 104, 127
• Issam El-Bouji
• Alain Armand Theroux -- ss. 127(1), 127(10)
Chapter 4 - Cease Trading Orders
• Temporary, Permanent & Rescinding Issuer Cease Trading Orders
• Temporary, Permanent & Rescinding Management Cease Trading Orders
• Outstanding Management & Insider Cease Trading Orders
Chapter 5 - Rules and Policies
• Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Chapter 8 - Notice of Exempt Financings
• Reports of Trades Submitted on Forms 45-106F1 and 45-501F1
Chapter 12 - Registrations
• Registrants
Chapter 13 - SROs, Marketplaces, Clearing Agencies and Trade Repositories
SROs
• Investment Industry Regulatory Organization of Canada (IIROC) -- Amendments Respecting Order Execution Only Service Eligibility and Adviser Identifiers -- Notice of Commission Approval
Marketplaces
• Alpha Exchange Inc. -- Notice of Approval -- Fee Changes Effective June 1, 2019
• Nasdaq CXC Limited -- Notice of Proposed Changes and Request for Comment
Clearing Agencies
• CDCC -- Amendments to the Rules, Risk Manual and Operations Manual of the Canadian Derivatives Clearing Corporation for Implementation of the New Risk System -- Notice of Commission Approval
Chapter 25 - Other Information
Exemptions
• YTM Capital Fixed Income Alternative Fund -- Part 6 of NI 81-101 Mutual Fund Prospectus Disclosure
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